TDERIV |
Self-certification of rule amendments |
08/07/2014 |
Certified |
08/21/2014 |
|
4 |
LGX |
Self-certification of revisions to LLC Operating Agreement |
07/07/2023 |
Certified |
07/21/2023 |
|
1 |
RTX |
Self-certification of liquidity-provider program ("23_LP01") under 40.6(a) |
11/07/2023 |
Certified |
11/22/2023 |
|
2 |
TDERIV |
Self-certification of fees to be charged to Participants on the SEF Trading System. |
04/19/2018 |
Certified |
05/03/2018 |
|
1 |
TDERIV |
self-certification of fees on the SEF Trading System |
12/09/2015 |
Certified |
12/23/2015 |
|
1 |
TDERIV |
self-certification of fees on the SEF Trading System |
03/17/2016 |
Certified |
03/31/2016 |
|
1 |
TDERIV |
Self certification of SEF fees |
10/17/2017 |
Certified |
10/30/2017 |
|
1 |
LGX |
Self certification of revisions to compliance manual. |
10/03/2022 |
Certified |
10/18/2022 |
|
3 |
RTX |
Self Certification of our Fee Schedule |
10/03/2023 |
Certified |
10/18/2023 |
|
2 |
NEXSEF |
Self certification of NEX SEF Market Regulation Advisory Notice for update of Quote Fill Ratio Thresholds. |
03/18/2020 |
Certified |
04/01/2020 |
|
2 |
TDERIV |
self certification of fees on the SEF Trading System |
08/16/2016 |
Certified |
08/30/2016 |
|
1 |
TDERIV |
self certification of fees for the SEF Trading System |
11/06/2016 |
Certified |
11/21/2016 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
06/29/2015 |
Certified |
07/14/2015 |
|
1 |
CMSEF |
SEF Rulebook Amendment Certification |
07/20/2015 |
Withdrawn |
07/28/2015 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
04/05/2016 |
Certified |
04/19/2016 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
07/31/2015 |
Certified |
08/14/2015 |
|
3 |
CMSEF |
SEF Rulebook Amendment |
04/28/2016 |
Certified |
05/12/2016 |
|
1 |
CMSEF |
SEF Rulebook Amendment |
08/03/2016 |
Certified |
08/17/2016 |
|
1 |
CMSEF |
SEF Rule Amendment |
08/04/2016 |
Certified |
08/18/2016 |
|
1 |
CMSEF |
SEF Rule Amendment |
08/19/2016 |
Certified |
09/02/2016 |
|
1 |
SEED CX |
Seed SEF LLC Rule Submission - Amending Various Rules Related to Execution and Settlement of Transactions (SCXS Submission #19-001) |
08/02/2019 |
Certified |
08/16/2019 |
|
1 |
SEED CX |
Seed SEF is amending various rules to clarify certain definitions and to make substantive revisions to Chapters 7 (Contract Settlement) and 9 (Arbitration) |
01/12/2018 |
Withdrawn |
01/16/2018 |
|
2 |
LATAM |
See Exhibit A of the Submission |
06/22/2015 |
Certified |
07/07/2015 |
|
2 |
CBOESEF |
Rules amendments to provide (a)for use of Javelin systems to communicate bids and offers to Javelin to insure compliance with Reg 37.9(b) and (b) state in rulebook that bid and offers in voice order book will be disclosed to all market participants. |
05/21/2015 |
Certified |
06/05/2015 |
|
1 |
TWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
4 |
DWSEF |
Rulebook updates in response to rule 411 |
09/17/2021 |
Certified |
10/01/2021 |
|
3 |
LGX |
Rulebook updates |
04/08/2022 |
Certified |
04/22/2022 |
|
2 |
NEXSEF |
Rulebook updated to reflect certain new trading hours and updated product information |
01/17/2019 |
Certified |
02/01/2019 |
|
3 |
360T |
Rulebook updated for SEF to avail itself of the no-action relief provided in no-action letters 15-24, concerning erroneous trades and 15-25, concerning confirmation. Also 360T User Guides for Market Takers and Market Makers. |
08/04/2015 |
Certified |
08/17/2015 |
|
4 |
MKAXSEF |
Rulebook update |
08/31/2021 |
Notified |
08/31/2021 |
|
3 |
LGX |
Rulebook for LedgerX DCM |
06/24/2019 |
Certified |
07/09/2019 |
|
2 |
RADSEF |
Rulebook edits for clarity and to update references to certain No Action Letters; Addition of Product Terms and Conditions |
12/16/2020 |
Certified |
12/31/2020 |
|
4 |
MKAXSEF |
Rulebook changes to reflect recent developments and to provide clarity. |
11/09/2016 |
Certified |
11/25/2016 |
|
4 |
360T |
Rulebook and User Guides updated in view of CFTC comments and participant queries. |
09/30/2015 |
Certified |
10/14/2015 |
|
5 |
TPSEF |
Rulebook amendments, specifically Rules 4012 and 4013. Amendments will become effective December 5, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
IGDL |
Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. |
07/11/2016 |
Certified |
07/25/2016 |
|
9 |
ICAPSEF |
Rulebook amendments to set forth new Rules designed to meet the 10-minute AQATP standard; MRAN 2016-7 to explain the new Rules to Participants. |
07/11/2016 |
Certified |
07/25/2016 |
|
9 |
TDERIV |
Rulebook amendments to remove all references to Regulatory Service Provider and related terms. TRUEEX #2014-11S |
06/26/2014 |
Certified |
07/12/2014 |
|
1 |
ICE SEF |
Rulebook amendments to reflect upcoming changes by the index provider for Singapore Gasoil (0.05% sulfur Gasoil grade). |
07/14/2017 |
Notified |
07/14/2017 |
|
3 |
INFXSEF |
Rulebook amendments to incorporate non-material changes requested by Commission Staff. Amendments will become effective on November 25, 2013. |
11/19/2013 |
Certified |
12/05/2013 |
|
1 |
ICAPSEF |
Rulebook amendments specifically the definitions and Rules 102, 201, 203, 204. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
TDERIV |
Rulebook amendments required in conjunction with CFTC review of SEF application and to update references to No-Action Letters and their expiration dates |
11/18/2015 |
Certified |
12/03/2015 |
|
1 |
SWAPX |
Rulebook amendments in response to comments and questions received from potential users of SwapEx's SEF. (January 22, 2014) |
01/22/2014 |
Certified |
02/06/2014 |
|
1 |
RF SEF |
Rulebook amendments in response to comments and questions received from Commission Staff. Submission 13-06 |
11/22/2013 |
Certified |
12/10/2013 |
|
1 |
INFXSEF |
Rulebook amendments in response to comments and questions received from Commission staff. |
10/18/2013 |
Certified |
11/02/2013 |
|
0 |
ICE SEF |
Rulebook amendments in (1) order to affect administrative/clerical revisions; (2) clarify process by IST implement and enforce rules (3) comments from CFTC and IST participants. ICE SEF #14-01 |
01/23/2014 |
Certified |
02/07/2014 |
|
1 |
GFISEF |
Rulebook Amendments - GFISEF #13-0002 |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
BSEF |
Rulebook Amendments - Amending the October 17 Rulebook Certification to respond to comments from Commission staff. (2013R-6 10/29/13) |
10/29/2013 |
Certified |
11/14/2013 |
|
1 |
CMSEF |
Rulebook Amendments |
01/11/2022 |
Certified |
01/26/2022 |
|
2 |
NEXSEF |
Rulebook Amendments |
10/05/2017 |
Certified |
10/20/2017 |
|
4 |